James M. Holmes
Professional summary
James Michael Holmes is a registered financial professional currently at FMI CAPITAL ADVISORS, INC. located in Denver, Colorado.
James is registered as a RR (Registered Representative) and started their career in finance in 2007. James has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Michael Holmes's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2019 - Present
FMI CAPITAL ADVISORS, INC.
Office #1: 44 Cook St Ste 900, Denver, CO 80206November 5, 2013 - May 16, 2019
HOULIHAN LOKEY CAPITAL, INC.
October 1, 2009 - October 17, 2013
COHEN & COMPANY SECURITIES, LLC
September 12, 2007 - October 5, 2009
KEYBANC CAPITAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/9/2019)
(7/9/2019)
(7/9/2019)
(7/9/2019)
(7/9/2019)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FMI CAPITAL ADVISORS, INC.
CRD#: 129262 / SEC#: , 8-66206
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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